Carrington Capital Limited
Carrington Capital Limited is a financial advisory and private investment firm founded on the core values of integrity, trust and global expertise. The Team at Carrington Capital prides itself on its deep relationships with local and international institutions across the world. A team of almost hundred professionals across offices in the Singapore, Hong Kong, Korea, Tokyo, New York and the UK, and focuses on advisory & structuring for capital markets activities.
Full time/Part time- Compliance officer / Assistant Manager, Legal and Compliance Department
jobsDB Ref. JHK100003004833233
- Drafting, reviewing, commenting and proof-reading commercial agreements and documents written in English and Chinese;
- Conducting legal research, preparing and drafting routine correspondences;
- Prepare correspondence, reports and presentation papers etc;
- Assist in projects, roadshow and events preparation and coordination;
- Establish and maintain good filing system and client database;
- Review of new products and/or business initiatives and advise on any compliance issues based on applicable rules, regulations, policies and/or procedures;
- Ensure that client's marketing material and advertisement compliant with applicable legal & regulatory requirements;
- Provide secretarial support to the team members;
- Coordinating KYC, brokerage accounts opening, AML-related issues and projects;
- Handling ad hoc task as assigned.
- Degree holder in Law or Diploma in Legal Studies is preferable;
- At least two-years corporate legal work experience, Bank or Financial Institution, working experience in a large group of corporate or brokerage firm is preferable;
- Solid brokerage, compliance experience is preferable;
- Knowledge of statutory and regulatory requirements and familiar in dealing with compliance issues;
- Good command of both English and Chinese languages;
- High proficiency in MS office, including Word, Excel, PowerPoint and Chinese Word;
- Immediate available is preferred.